Nomura
Global Markets Compliance (Vice President)
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Global Markets Compliance (Vice President)
Vice President – Global Markets Compliance
Department: Compliance Location: London
Company Overview
Nomura is a financial services group with an integrated global network, connecting markets East and West. We serve the needs of individuals, institutions, corporates, and governments through our four business divisions:
- Wealth Management
- Investment Management
- Wholesale (Global Markets and Investment Banking)
- Banking
Driven by the insights of 28,000+ people worldwide, we prioritise our clients’ needs, delivering unparalleled access to and from Asia. For more information, visit www.nomura.com.
Department Overview
Nomura’s Compliance department ensures regulatory adherence and upholds ethical standards across business operations. Our team is dedicated to fostering a culture of integrity while safeguarding client trust.
Role Description
This trading floor-based position will be fulfilled by a Vice President (VP) leading the EMEA Global Markets Compliance team. Reporting to a senior GM Compliance Advisory member, the role includes:
- Providing compliance coverage and regulatory advice to Nomura’s European Macro Markets businesses, resolving compliance, transactional and operational issues.
- Acting as a key stakeholder for major regulations, including MIFID II, MAR (Market Abuse Regulation), Short Selling, and PRIIPs.
- Monitoring regulatory changes and assessing new legislation to brief senior management on implications.
- Supporting regulatory projects—tracking progress and ensuring compliance with implementation plans.
- Participating in internal and external inquiries (including venue/exchange and regulatory investigations).
- Delivering regular and ad-hoc training to traders, sales, and operational teams.
- Generating and analysing management information to support decision-making.
- Upholding compliance policies, procedures and standards by staying current with business products, regulatory environments, and commercial strategies.
- Conducting regular and ad-hoc monitoring and reviews to ensure ongoing adherence.
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Key Deliverables
The role covers a broad spectrum, including (but not limited to):
- FX and Rates products compliance
- Intra-day FX & CFD trading
- Fixed Income (Credit, Derivatives, Structured Products) regulation review
- Equity Prime and Structured Products coverage
Skills, Experience, Qualifications & Knowledge
Required:
- Strong knowledge of regulations governing Global Markets (UK, EU, trading venues, cross-border compliance).
- Hands-on trading floor experience in a business-facing compliance role.
- Ability to work under pressure with rapid task transition.
- Problem-solving skills rooted in logical and methodical analysis.
- An initiative-driven approach to learning financial services regulations.
- Proactive communication with sales/traders, operational teams, and senior management.
- Exceptional stakeholder management—balancing compliance demands across internal and external teams.
Useful but not mandatory:
- Familiarity with Dodd-Frank Swaps regulation.
- Previous exposure to structural breakevent compliance or wholesale derivatives trading.
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Soft Skills:
- Attention to detail with unparalleled accuracy.
- Adaptability to a fast-paced trading environment.
- Analytical mind capable of distilling complex information into clear, actionable briefings.
- Adherence to deadlines, parallel task management, and organisational rigor.
Nomura Leadership Behaviours
To excel in this role, you must embody the following Nomura values and behaviours:
- Explore Insights & Vision – Diagnose core challenges and articulate a forward-looking strategy.
- Make Strategic Decisions – Weigh options rigorously to prioritise actions.
- Inspire Entrepreneurship – Drive productivity through clear communication and motivation.
- Elevate Organisational Capability – Advocate knowledge-sharing and continuous learning.
- Embed Inclusion – Champion DEI and psychological safety; adopt a Risk Culture framework of challenge, escalation, and respect.
Right to Work
Nomura complies with UK Government requirements to reduce net migration. While we consider visa-sponsored applications, we prioritise candidates who are eligible for work without a visa.
Diversity & Inclusion
Nomura is an equal opportunity employer. We foster a culture of inclusion, welcoming applications from all backgrounds:
- Age
- Disability
- Gender identity and expression
- Pregnancy and maternity
- Marriage and civil partnership
- Race
- Religion or belief
- Sex
- Sexual orientation
For candidates needing reasonable adjustments due to a disability or long-term condition, please contact us. We actively seek to create an environment where everyone can thrive.
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